Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Ensure investment portfolios comply with guidelines and collaborate with various teams.
- Company: Join Neuberger Berman, a leader in asset management focused on sustainability.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and collaboration.
- Why this job: Make an impact in investment compliance while working with industry experts.
- Qualifications: 5+ years of experience in investment compliance; knowledge of Aladdin or Charles River is essential.
- Other info: Ideal for self-motivated individuals who thrive in fast-paced settings.
The predicted salary is between 43200 - 72000 £ per year.
We are seeking an Investment Guideline Compliance professional to join the Asset Management Guideline Oversight (AMGO) group within the global Risk team. As an independent control group, AMGO ensures that investment portfolios comply with regulatory, prospectus, client, and internal guidelines.
The candidate will collaborate with various teams, including the Neuberger Berman Sustainability and Stewardship Investing (SSI) Team and Portfolio Managers, to ensure that all applicable firm, regulatory, and client-mandated guidelines are effectively implemented across investment portfolios. This role requires a strong understanding of evolving industry standards and regulatory requirements, as well as the ability to apply these principles across different investment portfolios.
Primary Responsibilities:- Oversee and implement investment exclusions across Neuberger Berman’s platform, ensuring compliance with regulatory standards and client-specific requirements.
- Collaborate with internal teams such as Client Platform, Legal & Compliance, and Onboarding to define and enforce client policies and exclusions, ensuring portfolios align with client intentions and guidelines.
- Work with external research providers and internal infrastructure teams to ensure data feeds are accurate and meet expectations regarding exclusions.
- Develop and maintain policies and procedures for exclusion management within relevant systems.
- Coordinate with Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk, and Client Service on investment guideline compliance matters.
- Provide ongoing guidance to investment personnel on the permissibility of investments within portfolios.
- Apply technical knowledge of investment products and order management system compliance modules (e.g., Aladdin or Charles River).
- Exercise sound judgment to determine when issues require escalation.
- Operate effectively within a team environment while demonstrating leadership and the ability to work independently.
- Passion for implementing controls related to investment compliance and a keen interest in evolving regulatory and industry standards.
- Understanding various regulatory standards and initiatives, such as SFDR regulation, Total Quality Standard, Net Zero initiative, and other relevant standards.
- Experience with Aladdin and/or Charles River for investment compliance is required.
- Technical expertise in investment products and financial instruments, with the ability to aggregate exposures for compliance testing.
- Technical knowledge, such as proficiency in SQL, will be an advantage.
- Background in Fund Compliance, front office trading, Operations, or Audit is highly desirable.
- Familiarity with UCITS and 1940 Act regulations is preferred.
- Strong communication skills (verbal/written) and attention to detail.
- Self-motivated with the ability to thrive in a dynamic, fast-paced environment, and proven ability to work both independently and as part of a global team.
- Suitable professional experience, at least 5 years, with a history of excellence.
Investment Guideline Compliance Vice President employer: Job Traffic
Contact Detail:
Job Traffic Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Guideline Compliance Vice President
✨Tip Number 1
Familiarise yourself with the latest regulatory standards and initiatives relevant to investment compliance, such as SFDR regulation and the Net Zero initiative. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.
✨Tip Number 2
Network with professionals in the investment compliance sector, especially those who have experience with Aladdin or Charles River. Engaging in conversations with industry insiders can provide valuable insights and potentially lead to referrals that could enhance your application.
✨Tip Number 3
Showcase your technical skills, particularly in SQL and investment products, during any discussions or interviews. Being able to articulate how these skills apply to investment guideline compliance will set you apart from other candidates.
✨Tip Number 4
Prepare to discuss specific examples of how you've successfully implemented compliance controls in previous roles. Highlighting your experience in managing exclusions and collaborating with various teams will demonstrate your capability to excel in this position.
We think you need these skills to ace Investment Guideline Compliance Vice President
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in investment compliance, particularly with regulatory standards and guidelines. Emphasise any specific roles where you collaborated with teams to implement compliance measures.
Craft a Compelling Cover Letter: In your cover letter, express your passion for investment compliance and detail your understanding of evolving regulatory standards. Mention your experience with tools like Aladdin or Charles River, as well as your ability to work independently and within a team.
Showcase Technical Skills: If you have technical skills such as SQL proficiency, make sure to include these in your application. Highlight how these skills have helped you in previous roles, especially in compliance testing or data management.
Demonstrate Leadership Experience: Provide examples of how you've demonstrated leadership in past roles, particularly in guiding teams on compliance matters. This could include instances where you escalated issues effectively or coordinated with various departments to ensure adherence to guidelines.
How to prepare for a job interview at Job Traffic
✨Understand Regulatory Standards
Make sure you have a solid grasp of the key regulatory standards relevant to the role, such as SFDR regulation and UCITS. Be prepared to discuss how these regulations impact investment compliance and how you've applied them in your previous roles.
✨Showcase Technical Expertise
Highlight your experience with investment compliance tools like Aladdin or Charles River. If you have technical skills, such as proficiency in SQL, be ready to explain how you've used these tools to enhance compliance processes in past positions.
✨Demonstrate Collaboration Skills
This role involves working closely with various teams. Prepare examples that showcase your ability to collaborate effectively with different departments, such as Legal & Compliance and Portfolio Managers, to ensure adherence to client policies and guidelines.
✨Exhibit Leadership and Independence
While teamwork is essential, this position also requires independent judgement. Be ready to discuss situations where you've taken the lead on compliance issues or made critical decisions autonomously, demonstrating your ability to balance both aspects.
